Fifth Third Securities – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Fifth Third Securities. If you suffered losses investing with Fifth Third Securities, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Fifth Third Securities (CRD# 628) (SEC# 8-2428)
As of September 12, 2016, Fifth Third Securities’s FINRA BrokerCheck Report contains the following:
35 Regulatory Event Disclosures
0 Civil Event Disclosures
19 Arbitration Disclosures
0 Bond Disclosures
Main Office Location
34 FOUNTAIN SQUARE PLAZA
MD 10AT42
CINCINNATI, OH 45202
Mailing Address
38 FOUNTAIN SQUARE PLAZA
MD 10AT42
CINCINNATI, OH 45263
Business Telephone Number
513-534-7421
Direct Owners and Executive Officers
FIFTH THIRD BANK – OWNER
ANDERSON, KRISTINA LYNN (CRD# 3050129) – CHIEF ADMINISTRATIVE OFFICER – CAPITAL MARKETS
BROWN, MARK EMMET (CRD# 2000435) – DIRECTOR, FIXED INCOME SALES/TRADING – CAPITAL MARKETS
HAMMOND, HOWARD (CRD# 2118196) – DIRECTOR, MANAGING DIRECTOR OF RETAIL
JACOBS, JARRETT ANDREW (CRD# 3190249) – BD CHIEF COMPLIANCE OFFICER/RIA CHIEF COMPLIANCE OFFICER
KELLY, GINGER MICHELLE (CRD# 2357692) – DIRECTOR, CHIEF ADMINISTRATIVE OFFICER – RETAIL
MARCUS, ROBERT FRANKLIN (CRD# 2512810) – MANAGING DIRECTOR OF CAPITAL MARKETS
OVERMANN, JUSTIN MICHAEL (CRD# 4419793) – DIRECTOR, BROKERAGE OPERATIONS
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Fifth Third Securities and would like a free consultation with a securities attorney, then please call Galvin Legal at 1-800-405-5117.
Galvin Legal is a national securities arbitration, mediation, fraud, and investor protection law practice. For more information on Galvin Legal, please visit www.galvinlegal.com or call 1-800-405-5117.